DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

D••••• L•••• C•••••

C••••• I••••••••• A••••••• L••BD affiliatedHutto, Txdual registrantIAPD 5619545

Feed of 09/14/2026

Also filed as D••••• L C•••••

At current firm

0 y

since May 15, 2026

In the industry

17 y

since Dec 29, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since May 15, 2026 · Hutto, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 15, 2024 to May 4, 2026 · Houston, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Jul 6, 2021 to Nov 18, 2024 · Pearland, Tx
P•• M•••••• A•••••• S••••••••• I••• former
Sep 19, 2018 to Jul 7, 2021 · Houston, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Mar 13, 2018 · Houston, Tx
C•••• I••••••••• S••••••• C•••• former
Mar 1, 2012 to Oct 1, 2012 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left May 4, 2026, registered May 15, 2026 (11 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Nov 18, 2024, registered Nov 15, 2024 (-3 days) · Affiliated broker-dealer or bank to another
P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••
left Jul 7, 2021, registered Jul 6, 2021 (-1 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••
left Mar 13, 2018, registered Sep 19, 2018 (190 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

D••••• L•••• C••••• left A••••••••• F•••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-05-15)
May 4, 2026 · Advisor changed firm · fact
D••••• L•••• C••••• left C••••• I••••••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-11-15)
Nov 18, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address